Regulation U Policy - $175.00

Table of Contents

Purpose and Contents - Topic 1
Policy Statement - Topic 2
Definitions - Topic 3
General Requirements - Topic 4
Employee Stock Option, Purchase, and Ownership Plans - Topic 5
Special Purpose Loans to Brokers and Dealers - Topic 6
Exempted Transactions - Topic 7
Maximum Loan Value of Margin Stock and Other Collateral - Topic 8
Staff Training - Topic 9
Audit Policy - Topic 10
Staff Training - Topic 11
Retention of Documentation - Topic 12

The purpose of this policy is to address how a financial institution adheres to Regulation U - "Credit by Banks and Persons Other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stock".  This policy template (approximately 21 pages) is available to purchase from BankPolicies.com in Microsoft® Word format for $175.00.

Mix and Match Volume Pricing

Would you like to mix and match multiple policies, procedures or job descriptions and receive a special volume discount? Click here to see how much you can save.

Sample Request

Click here if you are interested in receiving a sample version of this product by e-mail attachment.

Need help choosing the right bank policy products?

If you need help choosing the right documents for your financial institution or just need expert advice, BankPolicies.com is ready to help you.